CCO (Chief Compliance Officer) Content

    [23268]   February 20, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 8-09 BROKER/DEALER ADVISORY COMMITTEE No. 10-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-09 COMPLIANCE ADVISORY COMMITTEE No. 2-09 OPERATIONS COMMITTEE No. 3-09 SEC RULES COMMITTEE No. 8-09...

    [23240]   February 9, 2009 TO: ACCOUNTING/TREASURERS MEMBERS No. 10-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-09 CLOSED-END INVESTMENT COMPANY MEMBERS No. 9-09 OPERATIONS MEMBERS No. 4-09 SEC RULES MEMBERS No. 14-09 SMALL FUNDS MEMBERS No. 11-09     RE: 2009 ICI/IDC DIRECTORS...

    [23184]   January 15, 2009 TO: ACCOUNTING/TREASURERS MEMBERS No. 6-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 1-09 CLOSED-END INVESTMENT COMPANY MEMBERS No. 3-09 OPERATIONS MEMBERS No. 2-09 PRIMARY CONTACTS - MEMBER COMPLEX No. 1-09 SEC RULES MEMBERS No. 5-09 SMALL FUNDS MEMBERS No...

    [23185]   January 15, 2009 TO: BROKER/DEALER ADVISORY COMMITTEE No. 3-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 2-09 SEC RULES COMMITTEE No. 2-09     RE: INSTITUTE COMMENTS ON FINRA PROPOSED SELF-REPORTING RULE   As part of its activities to better align the rules of the NASD and...

    [23155]   December 31, 2008 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 41-08 BROKER/DEALER ADVISORY COMMITTEE No. 52-08 OPERATIONS COMMITTEE No. 23-08 SMALL FUNDS COMMITTEE No. 32-08 TRANSFER AGENT ADVISORY COMMITTEE No. 73-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 24...

    [23136]   December 19, 2008 TO: BROKER/DEALER ADVISORY COMMITTEE No. 49-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 23-08 EQUITY MARKETS ADVISORY COMMITTEE No. 67-08 SEC RULES MEMBERS No. 143-08     RE: ICI LETTER ON PROPOSED FINRA RULE ADDRESSING THE CIRCULATION OF RUMORS   As part...

    [23122]   December 12, 2008 TO: BROKER/DEALER ADVISORY COMMITTEE No. 47-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 22-08 EQUITY MARKETS ADVISORY COMMITTEE No. 65-08 SEC RULES COMMITTEE No. 88-08     RE: DRAFT ICI LETTER ON PROPOSED FINRA RULE ADDRESSING  THE CIRCULATION OF RUMORS  ...

    [23116]   December 10, 2008 TO: ACCOUNTING/TREASURERS COMMITTEE No. 21-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 21-08 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 34-08 COMPLIANCE ADVISORY COMMITTEE No. 19-08 ETF ADVISORY COMMITTEE No. 36-08 EQUITY MARKETS ADVISORY COMMITTEE No...

[23091] November 26, 2008 TO: BROKER/DEALER ADVISORY COMMITTEE No. 44-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 20-08 EQUITY MARKETS ADVISORY COMMITTEE No. 62-08 SEC RULES COMMITTEE No. 84-08 RE: FINRA PROPOSES RULE ADDRESSING THE CIRCULATION OF RUMORS As part of the process of...

[23076] November 20, 2008 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 19-08 SEC RULES COMMITTEE No. 83-08 SMALL FUNDS COMMITTEE No. 31-08 RE: RECENT REPORTS DISCUSSING EFFECTIVE RISK MANAGEMENT PRACTICES IN THE FINANCIAL SERVICES INDUSTRY During recent meetings of the Institute’s Chief...